Insurance Compliance Assistant

1 month ago

Burlington, Canada Wellington-Altus Private Wealth Inc. Full time

**Insurance Compliance Assistant**

**Location**:This position is based out of our Burlington office.

**Type**:This is a full-time, 6 month term position.

**Our organization**:
Founded in 2017, Wellington-Altus Financial Inc. (Wellington-Altus) is the parent company to Wellington-Altus Private Counsel Inc., Wellington-Altus USA Inc., Wellington-Altus Insurance Inc., Wellington-Altus Group Solutions Inc., and Wellington-Altus Private Wealth Inc.—the top-rated* investment dealer in Canada and one of Canada’s Best Managed Companies. With more than $35 billion in assets under administration and offices across the country, Wellington-Altus identifies with successful, entrepreneurial advisors and portfolio managers and their high-net-worth clients.
- _Investment Executive 2024 Brokerage Report Card._

**The opportunity**:
Reporting to the Manager, Insurance Compliance, the Insurance Compliance Assistant (Term) is responsible for providing administrative support to ensure that day-to-day services are provided in an effective and efficient manner.

**Key responsibilities include**:

- Completing and updating registrations and transition spreadsheets, and cross-referencing the data with insurance council licensing portals to verify license renewals and reporting on any deficiencies.
- Researching, through the advisor licensing contracting portal (APEXA), to reconcile and document attestation dates, and working with Compliance Registrations to provide updates on licensing statuses.
- Uploading documents and managing files through Sharepoint.
- Setting up licensing/supervision meetings for new onboards, new licensees, and for licensees who are under the team's direct supervision.
- Working with Associates directly to obtain missing information, and filling in forms, as directed.
- Creating PowerPoint presentations to support Advisor onboarding and Insurance Compliance Training Webinars.
- A degree or diploma in business, finance, economics, or a similar field of study; or otherwise, equivalent combination of education & experience.
- 1-3 years’ administrative or operational experience.
- 1-3 years’ experience in a customer/client-service facing role.
- Experience in wealth management or other regulated industry is a strong asset, but not required.
- LLQP licensing is an asset, but not required.
- Proficiency with the MS Office suite, including Word, Teams, and Outlook.
- Strong Excel and Powerpoint experience is required.
- Demonstrate a high level of accountability, reliability, adaptability, and innovation in accomplishing day-to-day work and long-term goals.
- Strong organizational skills, and attention to detail with the ability to prioritize effectively and handle multiple tasks in a high-volume, fast-paced work environment.
- Strong written and verbal communication skills, with the ability to communicate effectively with both Advisors and Corporate staff.
- Strong analytical, problem-solving skills, and demonstrating sound professional judgement with an ability to collaborate.
- Maintain the highest levels of confidentiality in all matters.

**Conditions of employment**:

- Must be legally eligible to work in Canada.
- A background check, satisfactory to the employer, may be required of the successful applicant prior to commencing employment.

**To apply**:

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